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ToRifa Securities Limited /Rifa Futures Limited Level 7, 28 Hennessy Road, Hong KongChange of Client Information Form Client Name: Client Type(s)Account No.: Securities Account (Cash)Update Address

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How to fill out sfc reprimands and fines

01

Obtain the necessary forms from the Securities and Futures Commission (SFC) website or office.

02

Fill in all required information accurately, including details about the violation, the person or entity responsible, and any mitigating factors.

03

Provide any supporting documentation or evidence to strengthen your case.

04

Submit the completed form to the SFC along with any required fees or penalties.

05

Await a response from the SFC regarding their decision on the reprimand or fine.

Who needs sfc reprimands and fines?

01

Individuals or entities in the financial services industry who have violated regulations or laws set out by the SFC may be subject to reprimands and fines.

02

This could include investment firms, brokers, advisors, and other professionals who are regulated by the SFC.

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What is sfc reprimands and fines?

SFC reprimands and fines refer to penalties imposed by the Securities and Futures Commission (SFC) on individuals or entities for violations of securities regulations in Hong Kong.

Who is required to file sfc reprimands and fines?

Individuals or entities that have received reprimands or fines from the SFC are required to file these details.

How to fill out sfc reprimands and fines?

To fill out the sfc reprimands and fines, one must provide details of the reprimand or fine, including date, nature of the violation, and the amount fined, using the prescribed forms from the SFC.

What is the purpose of sfc reprimands and fines?

The purpose of sfc reprimands and fines is to enforce compliance with securities regulations and to deter future violations.

What information must be reported on sfc reprimands and fines?

The information that must be reported includes the particulars of the reprimand or fine, the violator's details, and any relevant dates.

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